XYZ
Case Study – XYZ Food Company, Tanzania
XYZ Food Company (XYZ Company) was established in 1995. The company is based in Tanzania,
where it processes, packages, and sells a variety of packaged and processed food products, including
natural fruit jams, peanut butter, processed tomatoes, tomato sauce and tomato juice. The
company sells its products directly to hotels, restaurants, tourism companies and supermarkets
throughout Tanzania. The XYZ Company factory operates one shift a day and has a production
capacity of 20 tons of raw materials per day. The company has 30 permanent staff, including four
field officers and 20-25 casual workers. Approximately 30 percent of all employees are female
workers, mostly working as laborers.
XYZ Company, similar to many other small food processors, operates as an informal sector company
and uses labor-intensive and old technologies, while most of the large-scale industries in the region
use improved and modern technologies with large capacity output. As the country experiences
more pressure from globalization, the food industry is also subjected to increased competition in the
domestic market. Since the government does not impose or control the market price of products,
small and medium food processors are forced to sell their products at an available market price. By
doing so, the majority are running their businesses at marginal profit.
XYZ generates large amounts of industrial effluent from beverage manufacturing and cleaning
operations. Current practice is to rough screen the wastewater and discharge it to a local stream
without further treatment. Screened solid waste, such as rejected fruit and peels are discarded to
local dumping grounds for putrescence. Local community leaders, residents and farmers complain
that there are foul odors from the dumping grounds and that the surface water required for their
homes, agriculture and animal husbandry is being contaminated. They also complain that sludge
ponds are breeding grounds for mosquitoes and other vectors, potentially leading to an epidemic of
dengue fever and malaria, causing considerable morbidity and mortality.
Consistent water availability from the municipal supply is not guaranteed. Therefore, XYZ Company
has drilled boreholes so that it can meet its high requirements of raw water usage. In addition,
reliable electricity has been a long-standing problem in the region, so most of the food processors
opt to use generators during power rationing. As a result, the production cost increases along with
decreasing profit margin. Unreliable electricity in the region not only affects production processes
but also prolonged electricity black outs accompanied by tropical conditions conducive to microbial
growth result in a great loss to the processors, wholesalers, retailers and the consumers. Neighbors
also complain about the noise from the generators.
XYZ Company has small storage areas and facilities that force them to pile up their products,
resulting in poor ventilation and a dusty, uncomfortable working environment. Dust from the nuts
often fills the air – this can be flammable and can also cause respiratory problems, such as
occupational asthma and irritation of eyes, nose and skin (occupational dermatitis). Due to the
confined space and the cramped layout of the machinery and equipment, there are difficulties with
product flow, cluttered workspaces and inadequate separation of the products from wastewater and
cleaning agents. This increases the risk of worker injuries and poor hygiene and product quality.
About two years ago, XYZ Company had a product recall of about four tons of tomato sauce; this was
a huge loss for the company to recover. Due to the nature of the food industry products, products
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XYZ
Case Study – XYZ Food Company, Tanzania
are subjected to the constraints of limited shelf-life; due to poor transportation infrastructure, it is
not easy to recall products whenever the expiry date is due. Therefore the company had to incur
losses on costs such as labor, transportation, destruction and primary and secondary raw materials,
etc.
Many small companies in the region face various labor issues, including labor shortages during the
harvesting seasons. Most of the workers prefer to work with big companies, as they offer regular
employment, modern equipment and better working conditions. Tanzania has ratified all eight ILO
core labor conventions. Approximately 27 percent of the workforce in the country that is engaged in
paid formal sector employment is affiliated with a trade union. However, trade union rights are
difficult to exercise in practice in many companies in the region, due to anti-union discrimination
and restrictions on the right to strike. There have been recent media reports that show that some
factories in the region have discouraged employees from joining a union under the threat of being
fired. Discrimination is also reported to be widespread with respect to women, the disabled and
people with HIV/AIDS. Child labor is common in the supply chain. Forced or compulsory labor is
also common in many companies and includes overtime work with the threat of being fired.
Workers can go on strike, but must go through a series of complicated and protracted mediation and
conciliation procedures, which can prolong a dispute months without resolving it. Consequently,
workers tend to stage illegal wildcat strikes and walkouts, because of the lengthy and cumbersome
requirements for calling a legal strike. Though there have been some past incidents of employee
disputes and labor unrest at XYZ Company, the company has always managed to resolve the issues
before they escalated to a strike.
XYZ Company is an active member of the Tanzania Food Processors Association (TAFOPA) and Small
Enterprise Development Agency (SEDA,) based in Arusha, and participates in various trade shows to
promote its products. During a recent international trade fair organized at Dar es Salaam, the CEO
met some potential international customers who indicated that international certifications such as
HACCP, Fairtrade and other environmental management system programs can offer a viable route to
success in the export market for a small-scale food company like XYZ Company.
To explore the international market, XYZ Company has decided to develop and implement
environmental and social management systems and training programs, based on existing laws and
regulations on labor, product safety, hygiene and best industry practices.
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1. Policies – XYZ Case Study
XYZ FOOD COMPANY Policy Statement
XYZ had a long internal debate about adopting policies, especially the ones on labor and working
conditions. They felt it would be very hard to meet these requirements, given their operating
environment. Finally, the CEO decided to proceed with the complete set of policies, because of his
goal of selling internationally. They established a three-year plan to try and achieve compliance with
the policies and gain some type of international certification or recognition.
Besides the complete set of policies, they prepared a shorter version summarizing the most relevant
points:
XYZ - Our products, our environment, our people
Together we produce safe and high-quality foods which create value and confidence for our
customers and consumers.
We are committed to conducting our operations in accordance with the environmental and labor
laws and regulations that apply to our industry.
We recognize that energy and water are valuable resources, and we commit to use them more
efficiently.
We commit to reuse and recycle all our organic waste.
We strive for an injury-free workplace, ensuring that our workers are not exposed to dangerous
situations or hazardous chemicals, and that they use the appropriate personal protective equipment.
We will work with our suppliers of fruits and vegetables to gradually eliminate the presence of child
labor in our supply chain.
We are all - managers, supervisors and workers – jointly responsible for making our policy a reality.
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2. Identification of risks and impacts – XYZ Case Study
LABOR AND WORKING CONDITIONS RISKS
RISK FACTORS
My company has the
following conditions
(circle the appropriate
answer)
There is a difference in nationality, race or
Yes/No
religion between workers and managers.
Our managers and supervisors are not
Yes/No
aware of the workers’ rights under the
national labor law or collective agreements.
We have an apprentice program that
Yes/No
provides young workers with training and
work experience.
We routinely use recruiting agencies and
Yes/No
contract workers.
We routinely use homeworkers or
Yes/No
contractors that use homeworkers.
We routinely use seasonal or temporary
workers.
Yes/No
Some of the workers in my company are
migrants from another area.
We provide a dormitory for some or all of
our workers.
Yes/No
There are security guards at our company.
Yes/No
We are located in a free-trade zone.
Yes/No
There is a large fluctuation in orders
and/or seasonality of production.
Yes/No
There is a labor shortage in my area.
There is no history of collective
bargaining, unions or other forms of
worker representation at our company.
There is no procedure for workers to
express their complaints (grievance
mechanism).
Yes/No
Yes/No
Our processing activities include
significant lifting, carrying or repetitive
motions.
Our processing activities involve workers
routinely interacting with machinery,
equipment with sharp edges and/or
slippery work surfaces.
Our processing activities involve elevated
levels of noise, dust, vapors, smoke,
Yes/No
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Yes/No
Yes/No
Potential negative impact
(A “yes” response means that
there is a potential negative
impact)
Discrimination. Disciplinary
abuse and harassment.
Discrimination. Disciplinary
abuse and harassment.
Excessive overtime.
Forced labor. Child labor.
Inadequate wages, benefits
and contracts. Forced labor.
Inadequate wages, benefits
and contracts. Forced labor.
Child labor.
Inadequate wages, benefits
and contracts. Excessive
overtime.
Forced labor. Discrimination.
Lack of freedom of movement.
Lack of clean adequate space.
Excessive charges for the use
of the dormitory.
Lack of freedom of movement.
Harassment.
Inadequate wages, benefits
and contracts.
Excessive overtime. No
payment of overtime due to
hour-averaging. Layoffs.
Child labor.
Lack of freedom of association.
Discrimination. Disciplinary
abuse and harassment.
Worker injuries and chronic
conditions.
Worker injuries and chronic
conditions.
Yes/No
Worker injuries and chronic
conditions.
Yes/No
Worker injuries and chronic
conditions.
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2. Identification of risks and impacts – XYZ Case Study
chemicals (e.g., preservatives, cleaning
agents), radiation and/or temperature
extremes.
Our processing activities involve
hazardous materials or processes that
could cause fires or explosions.
Our processing activities involve the
handling of living and dead animals that
can transmit diseases to humans.
Our workers don’t have access to
separate and clean areas for eating and
changing clothes.
Bathrooms are in cramped spaces and
lack access to running water.
The companies in our supply chain would
probably answer “Yes” to most of the
questions above.
ENVIRONMENTAL RISKS
RISK FACTORS
Our operations require large
quantities of fresh water.
Worker injuries or casualties.
Yes/No
Worker illnesses.
Yes/No
Worker illnesses.
Yes/No
Worker illnesses.
Yes/No
All of the above.
My company has
the following
conditions (circle
the appropriate
answer)
Yes/No
We don’t have sufficient fresh water
supplies to meet our requirements.
Our operations have high
requirements for power supply.
Yes/No
We require large quantities of fuel
(gas/diesel/coal/etc.) for our
operations.
We have various process and utility
equipment that may generate air
emissions (e.g. boiler, diesel
generator set, incinerator, grinder,
etc.).
Yes/No
We need to store large quantities of
raw materials on site.
Yes/No
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Yes/No
Yes/No
Yes/No
Potential negative impact
(A “yes” response means that there is a
potential negative impact)
Groundwater depletion in the region.
Contamination of groundwater or surface
water sources in the region due to
discharge of effluent. High energy
consumption for treatment of raw or
process water.
Groundwater depletion in the region.
High energy consumption. Possibility of
air emissions if sufficient power supply
(electricity) from the grid (supplied by
government or private companies) is not
available.
Air emissions. Solid waste (fly ash if coal
is used).
Air emissions. Solid waste (e.g. waste
from equipment maintenance, fly ash
from coal-based boilers). Hazardous
waste (e.g., waste oil, oil-soaked filters
and rags). Liquid waste (e.g. boiler blowdown, waste oil). Noise generation.
Solid waste due to possible contamination
or deterioration of raw materials. High
energy consumption or emissions due to
cold storage.
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2. Identification of risks and impacts – XYZ Case Study
We generate large (or significant)
quantities of solid or liquid waste
due to poor quality of raw materials
or rotting of materials due to
prolonged storage.
Yes/No
We generate large (or significant)
quantities of solid or liquid waste
from our manufacturing process,
which are not reprocessed into
byproducts, fertilizers or energy.
The quantity of solid/liquid waste
from rejected finished product due
to contamination, rotting, expiry,
etc. is high (or significant) at our
facility.
Yes/No
We dispose of our solid waste in our
landfill or city’s landfill facility.
Yes/No
We provide our solid waste to the
community or general public to be
used as fertilizer.
Yes/No
Our operations generate large (or
significant) quantities of
wastewater (e.g. raw material
washing, processing, floor cleaning,
bottle washing, etc.).
We discharge our wastewater
(process effluent) in a nearby
river/lake/or any other water body.
Yes/No
Yes/No
Contamination of receiving water body
and aquatic life. Eutrophication due to
high BOD or COD.
We treat our wastewater (process
effluent) before discharge.
Yes/No
We treat our sewage (from toilets,
washrooms, etc.) before discharging
it in the city’s sewer line.
Yes/No
Energy consumption. Solid waste
generation (e.g. sludge from treatment
process, membrane concentrated waste
discharge from reverse osmosis,
treatment chemicals). Land and/or water
contamination due to improper disposal
of waste.
Energy consumption. Solid waste
generation (e.g. sludge from treatment
process, membrane concentrated waste
discharge from reverse osmosis,
treatment chemicals). Land and/or water
contamination due to improper disposal
of solid waste.
We utilize our treated wastewater
Yes/No
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Yes/No
Solid waste. Liquid waste. Contamination
of land, groundwater and/or surface
water due to improper disposal of solid
and liquid waste. Wastewater from
cleaning. High energy consumption or
emissions due to cold storage.
Solid waste. Liquid waste. Contamination
of land, groundwater and/or surface
water due to improper disposal of solid
and liquid waste. Wastewater from
cleaning.
Solid waste. Liquid waste. Contamination
of land, groundwater and/or surface
water due to improper disposal of solid
and liquid waste. Wastewater from
cleaning. High energy consumption or
emissions due to excess or extra
production.
Contamination of land, groundwater (due
to leachate) and/or surface water (due to
run-off). Impact on wildlife or fisheries if
exposed. Diseases through vectors, foul
smell, GHGs generation (e.g. methane).
Contamination of land, groundwater (due
to leachate), surface water (due to runoff) and/or crops if toxic chemicals are
present in the solid waste.
Contamination of ground and/or surface
water due to improper disposal of
wastewater.
Contamination of land, groundwater (due
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XYZ
2. Identification of risks and impacts – XYZ Case Study
(process effluent) for irrigation
(either by ourselves or provide it to
community).
We generate some hazardous or
toxic waste (e.g. waste chemicals,
used/waste oil/sludge from
wastewater treatment plants based
on chemical treatment, etc.).
We require a large land area for our
industrial operations.
Yes/No
Our operations may have an impact
on the surrounding forest or
wildlife.
Yes/No
We use some banned
chemicals/materials in our
processes.
Yes/No
We face problems related to
pests/vectors.
Yes/No
Yes/No
to leachate), surface water (due to runoff) and/or crops if toxic chemicals are
present in the treated wastewater.
Impact on crop productivity.
Contamination of land, groundwater (due
to leachate), and/or surface water (due to
run-off) if disposed improperly.
Loss of natural habitats or agricultural
land. Air, water and/or land pollution
based on expansion requirements and
infrastructure development.
Loss of native species. Impact on
biodiversity.
Non-fulfillment of regulatory
requirements. Air, land or water
pollution depending on current usage.
Exposure of workers or consumers to
banned chemicals.
Use of chemicals. Chemical exposure of
workers. Land or water contamination
due to disposal of infested material.
COMMUNITY HEALTH, SAFETY AND SECURITY RISKS
RISK FACTORS
My company has
the following
conditions
(circle the
appropriate
answer)
Our processing activities involve organic
Yes/No
matter that needs to be washed,
treated or stored to ensure food safety.
Our processing activities and
7Yes/No
treatments involve biomass or other
liquids or solids that may lead to foul
odors.
Our operations involve air emissions,
Yes/No
water discharge, solid waste disposal,
leakage of chemicals or gases, etc. that
may pass on to the surrounding
community.
We plan to develop new infrastructure,
Yes/No
buildings, equipment and other
facilities.
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Potential negative impact
(A “yes” response means that there is
a potential negative impact)
Food contamination/food safety
issues.
Exposure of community to foul odors.
Air, water or land contamination,
which can affect the health and
livelihood of local communities.
Exposure of communities to air
emissions, noise and accidents due to
equipment and vehicular movement.
Impact on wildlife, biodiversity and
local livelihoods due to natural habitat
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2. Identification of risks and impacts – XYZ Case Study
conversion.
Health risks to communities due to
exposure to toxic substances (e.g. from
chemicals, heavy metals, asbestos,
etc.) and air emissions and noise due
to equipment and vehicular
movement. Impact on wildlife and
biodiversity.
We plan to decommission and dispose
of old infrastructure, buildings,
equipment and other facilities.
Yes/No
There is significant movement of
vehicles in and around our facility due
to our operations (e.g. vehicles carrying
raw material or finished products,
movement of water tankers, etc.).
We store hazardous chemicals or
hazardous waste in our facility.
Yes/No
Exposure of communities to air
emissions, noise and accidents due to
vehicular movement.
Yes/No
We discharge water from our plant,
which may have an impact on
surrounding water bodies.
Yes/No
We hire temporary and migrant
workers.
We hire private security personnel
Yes/No
We normally have conflicts/complaints
with the local community.
Yes/No
Health risks to communities and
negative impacts on wildlife and
biodiversity due to the intentional or
unintentional (spills) release of
hazardous or toxic substances
contaminating air, land and/or water.
Negative impacts on local food security
and income generation due to
contamination of aquatic life.
Diseases/illness among local
communities due to the use of
contaminated water.
Communicable diseases brought or
spread by the influx of workers.
Conflicts with communities and
indigenous people.
Conflicts with communities and
indigenous people
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Yes/No
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2. Identification of risks and impacts – XYZ Case Study
XYZ FOOD COMPANY Physical Mapping
A team that included supervisors and workers did a walk-through in the plant during operating hours
and annotated on a sketch map all the problems they observed.
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2. Identification of risks and impacts – XYZ Case Study
XYZ FOOD COMPANY Risk Assessment Prioritization Form
XYZ used the Risk Assessment Form to prioritize which risks to address through their action plans.
Company area
or
department
Risk
Produce
sorting and
processing
Produce
cleaning and
processing
Produce
cleaning and
processing
All
Solid organic waste from
rejected produce, peels,
seeds, extracts
High effluent
(wastewater) production
All
Processing
and packaging
All
Cooling and
storage
Labor
Labor
Autoclave
rupture during
cooking and
packaging
All
Autoclaving
condensate
Probability of
occurring
(low, medium,
high, extreme)
High
Severity if
occurred
(low, medium,
high, extreme)
High
High
High
Excessive water
consumption
High
High
High energy consumption
High
High
Slip, trip, fall accidents
from confined space and
inefficient work flow,
excessive water and
slippery product waste on
the floor
Unintended adulteration
by confined physical
layout
High
Medium
Medium to
High
High
Poor ventilation and
exposure to peanut dust
Confined spaces and poor
equipment maintenance –
exposure to ammonia and
other leakage
Child labor used in fruit
suppliers
Anti-union discrimination
Steam escape and burn
injuries for personnel
High
Medium
Medium
Extreme
Medium
High
Medium
Low to medium
High
High
Dust – combustible fire
hazard
Low
High
Condensate is pure water
and can be reused.
Disposal of clean water
High
Medium
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Notes
Generators – high
capital and
maintenance costs;
noise is a nuisance to
neighbors
Employees unaware of
proper work flow to
avoid crosscontamination
Collect autoclave
condensate; give away
as clean water to
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2. Identification of risks and impacts – XYZ Case Study
adds to the cost of inputs
and managing wastes.
Labor
Lack of contracts for
temporary workers hired
during labor shortages
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community or provide
for other
manufacturing and
processing industries
in the area; reuse if
possible; recycling is
expensive unless
included in original
equipment capital
costs.
Medium
Medium
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3. Management Programs – XYZ Case Study
XYZ FOOD COMPANY Action Plan
Based on its Risk Assessment Form, XYZ prioritized the following four key risks:
• high volumes of solid organic waste from rejected produce, peels, seeds, extracts;
• excessive water consumption and high effluent (wastewater) production;
• confined space and poor process and equipment layout leading to worker injuries, exposure to hazardous materials and cross-contamination of product;
and
• child labor used in fruit suppliers.
RISK 1: High volumes of solid organic waste from rejected produce, peels, seeds, extracts
Mitigation
hierarchy
Action
Objective and target
Deadline
Responsible
staff
Resources
required
Operational
procedures
Avoid
- Work with suppliers to improve quality of incoming
material (e.g. feedstock/product condition, variety,
ripeness and damage)
- Improve inventory management practices to minimize
losses from putrefaction, especially of short-shelf-life fruit
and vegetables by instituting “just-in-time” purchasing
- Develop new products to use the off-specification
materials and high-quality trimmings as raw material (e.g.
salads, cut products, mixed jams, etc.)
- Modify process flow to minimize movement of material
- Modify and improve slicing, cutting, peeling, sterilizing;
install motorized corer and pitters to minimize material
losses during manual operations
- Remove excess water from organic solid waste by
mechanical separation
- Engage with local farmers/residents to identify
opportunities for use of organic waste as cattle feed,
vermiculture, composting, etc. Find the end users and
provide the organic waste in a manner convenient to
them
Objective: Reduce
unusable produce that
turns to waste
Target 1: 20% reduction
in rejected produce
Target 2: 20% reduction
in spoilt produce
Target 3: 20% reduction
in total organic waste
Objective: Reduce
organic waste
Target: 20% reduction
in total organic waste
6 months
- Sourcing
manager
- Operations
manager
Staff time
intensity:
Medium
Capital
intensity: Low
3 months
- Operations
manager
- HR manager
for improved
skills training
Staff time
intensity:
Medium
Capital
intensity: Low
- Procedure for
raw material
purchase
- Procedure for
inspection of
incoming material
- Procedure for
inventory
management
- Procedure for
material storage
and handling
Objective: Productive
use of organic waste
from food
manufacturing
Target: 100% reuse of
organic waste
1 month
- Operations
manager
- Employees
responsible
for
community
liaison
Staff time
intensity: Low
to medium
Capital
intensity: Low
(land lease;
waste
Minimize
Compensate
/Offset
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- Procedure for
distribution of
organic waste
among end users
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3. Management Programs – XYZ Case Study
transport)
RISK 2: High water consumption and high volumes of effluent (wastewater)
Mitigation
hierarchy
Action
Objective and
target
Deadline
Responsible
staff
Resources
required
Operational
procedure
Minimize
- Install high-pressure, low-volume spray nozzles for
cleaning
- Investigate different blanching processes to reduce
water usage and increase the process speed
- Use automatic control systems to regulate and optimize
flow of water in knife sterilizers, hand wash stations and
table wash sprays
- Optimize batch dump frequency (e.g. brine and caustic
that may be reused in processing)
- Convert wet production processes to dry conveying
systems and dry methods, such as air classifiers, magnetic
separation and vibration.
- Use dry cleaning techniques (broom, scraping, etc.) to
clean floors, transport trucks, process areas and
equipment prior to washing with water
Objective: Reduce
water consumption
Target: 20%
reduction in water
consumption
6 months
- Operations
manager
- Maintenance
supervisor
Staff time
intensity:
Medium
Capital intensity:
High
- Procedures for
initial
processing/clean
ing of raw
material
Objective: Reduce
water consumption
Target: 20%
reduction in water
consumption
Objective: Reduce
water consumption
Target: 20%
reduction in water
consumption
1 month
- Cleaning staff
Staff time
intensity: Low
Capital Intensity:
Low
- Procedures for
housekeeping
and cleaning of
process areas
3 months
- Operations
manager
Staff time
intensity:
Medium
Capital intensity:
Low
- Procedures for
recycling and
reuse of treated
wastewater
Objective: Reduce
pollution loads in
effluents
Target: 20%
reduction in pollution
load (COD and BOD)
in wastewater
5 months
- Operations
manager
- Maintenance
manager
Staff time
intensity:
Medium
Capital
intensity
Medium
(storage sump
- Procedure for
wastewater
collection,
treatment and
disposal
- Procedure for
monitoring of
Minimize
Minimize
- Install water recycling systems at points of use; reuse of
water at specific locations
- Reuse final rinse water from cleaning operations for the
initial rinsing on the following day
- Reuse relatively clean water from cooling systems,
boiler condensate, vacuum pumps, etc.
Minimize
- Use screens or traps at drains to prevent solid material
entering effluent treatment system
- Install drip trays to catch juice/product on conveyors,
trimming and preparation tables to prevent entering
effluent treatment system
- Segregate high-strength effluent streams and treat
them separately
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3. Management Programs – XYZ Case Study
or tank,
transport;
disposal fees)
wastewater
quality
RISK 3: Confined space and poor process and equipment layout leading to worker injuries, exposure to hazardous materials and cross-contamination of
product
Mitigation
hierarchy
Action
Objective and
target
Deadline
Responsible staff
Resources
required
Avoid
Expand and improve plant layout. Make
sure building is big enough for production,
but do not pay for extra space that is not
required
12 months
- General manager
- Operations
manager
Staff time
intensity:
Medium
Capital
intensity:
High
Minimize
- Redesign process flows to avoid
obstructions that can lead to falls and
collisions
- Check machines to prevent spillage and
implement cleaning and drying schedules
for all walking and working surfaces to
minimize slippery floors in work areas
- Minimize physical injuries from
repetitive tasks, such as operation of
slicing and vacuum packing machines by
proper design, training, job rotation and
adequate resting periods
- Minimize physical injuries from lifting or
repetitive work (e.g. lifting and carrying
awkward shaped items, maneuvering
carts, manual forklifts, etc.) by proper
Objective: Expand
space and separate
hazardous material
and processes
Target 1: Increase
work and
containment areas by
25%
Target 2: Facilitate
access to equipment
for regular
maintenance
Objective: Reduce
risk of physical
hazards
Target: Reduce
worker physical
injuries by 50%
6 months
Operations
manager,
area supervisors
and
employees
Revision 1.0 October 21, 2013
Staff time
intensity:
Medium
Capital
intensity: Low
Operational
procedure
- Procedures for OSH
training
- Procedures for
housekeeping and
cleaning of process
areas
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Minimize
Minimize
3. Management Programs – XYZ Case Study
design, training, job rotations and
adequate resting periods
- Install physical guards to separate sharp
tools, moving or hot surfaces, mixers,
packaging equipment, etc.
-Train employees in appropriate OSH
procedures and provide necessary PPE to
them
- Identify sources of potential hazards
from thermal injury (e.g. hot water,
steam, refrigeration), electricity (e.g.
electrical shocks from live wires or poorly
grounded equipment) and
eliminate/minimize them
- Minimize exposure to hazardous
substances (e.g. cleaning and disinfecting
chemicals, ammonia and CFCs from
refrigeration equipment, etc.) to prevent
chemical contact burns, inhalation of
harmful/toxic fumes and ingestion
- Provide PPE to workers in high noise
areas like freezers/chillers, bowl choppers,
canning and bottling lines, etc.
- Prevent occupational exposure to
radiation from irradiation dosing
Separate cleaning area from packaging
area to avoid cross-contamination
Objective: Reduce
exposure of workers
to noise, hazardous
substances, thermal,
electricity and
irradiation hazards
Target: 50%
reduction in workerrelated injuries
Objective: Reduce
cross-contamination
Target: Eliminate
crossing of dirty and
clean product
pathways
- Procedures for use
and maintenance of
PPE
2 months
Revision 1.0 October 21, 2013
Operations manager
Staff time
intensity: Low
Capital
intensity:
Medium
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3. Management Programs – XYZ Case Study
The following are two example procedures that XYZ put in place related to key issues addressed in the
Action Plan. XYZ was concerned about regional prevalence of anti-union and other forms of
discrimination. Here we present the non-discrimination procedure that XYZ adopted. On the
environmental side, a couple of key issues for XYZ were water consumption and solid waste. We present
one water conservation procedure that XYZ adopted.
XYZ FOOD COMPANY Non-Discrimination Procedure
Title: XYZ Non-Discrimination Procedure
Responsible Party: General Manager
Date Issued: February 15, 2011
Date Revised: March 1, 2012
Related Policy Statement:
 Our company will hire, promote and compensate workers solely based on their ability to do the
job.
 All workers will be given equal access to training, tools and opportunities for advancement.
 We will ensure that all workers are free from harassment by management or other workers.
Procedure Checklist
Application Process
 When hiring any worker, keep the original application and a photocopy of the original
identification documents in the applicant’s file.
 If the applicant is hired, this will be transferred to his or her personnel file.
 Whether or not the applicant is hired, the application will be kept on file for a minimum of two
years.
 Give all applicants a sheet explaining our company’s Non-Discrimination and Equal Opportunity
Policy.
 The Human Resources Department staff person accepting an application will verbally explain the
policy and go over the points on the cover sheet with the applicant.
Orientation and Training
 Provide a written copy of the Non-Discrimination and Equal Opportunity Policy to workers
during orientation and explain in detail.
 Provide training on filing a complaint concerning discrimination, during orientation and annually
thereafter.
 Provide semi-annual training to middle-level management and supervisors, about our NonDiscrimination and Equal Opportunity Policy and about how to enable a respectful and
constructive workplace atmosphere.
Disciplinary Actions and Complaints
 If a worker engages in discriminatory or harassing behavior, the supervisor will give a written
warning on the first offense and subsequent discipline following procedures outlined in the
Disciplinary Practices Procedure.
 Individuals who believe they have experienced discrimination at the workplace should file their
complaints through our company’s grievance mechanism.
Management Review
 General manager will conduct a spot check of all application files processed during the previous
quarter, to check for evidence of discrimination.
 Each quarter, the general manager will review the workplace demographics by department in
comparison with the application and personnel promotion files, review any complaint records,
and interview workers, in order to check for evidence of discrimination.
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3. Management Programs – XYZ Case Study
XYZ FOOD COMPANY Water Conservation Flowchart
Title: XYZ Water Conservation Procedure
Date Issued: February 15, 2011
Date Revised: March 1, 2012
Purpose: Measure total demand, identify overage sites and reasons for water use, eliminate outlet if
feasible to improve water conservation
Process
Responsible person
Documentation
Measure total flow of potable
water to plant operations
Engineering and Maintenance
Potable water total flow
and estimated cost/m3
Inventory all water distribution
points in plant
Area supervisors, Engineering
and Maintenance
Potable water outlets map
and flow
Map all potable water outlets on
facility plan; assign outlet
number and flow
Area supervisors, Engineering
and Maintenance
Potable water outlets map
and flow
Show outlets that are left open
and those without control valves
(pistols)
Operations manager, area
supervisors, Engineering and
Maintenance
Complete annotated
water map, outlets,
estimated flows and
determination of need
Review process and define
specific purpose of water use;
indicate taps to replace with a
dry process, or fit with controls
Area supervisors, Engineering
and Maintenance
Obtain benchmarking data for
processes and industry; compare
benchmark water use m3/KG
product
Area supervisors, Engineering
and Maintenance
Advise operations manager and
area supervisors of need to
eliminate water usage and
convert to dry cleaning
Operations manager, area
supervisors, Engineering and
Maintenance
Review outlets and water uses;
mark outlets that can be
eliminated; remove outlets and
seal piping
Operations manager,
Engineering and Maintenance
Revision 1.0 October 21, 2013
Facility benchmarking
report; compare existing
operations with several
benchmarks
Update annotated water
map, outlets, estimated
flows, date of closure
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3. Management Programs – XYZ Case Study
Measure total flow of potable
water to plant operations
Engineering and Maintenance
Update total potable
water flow; calculate
estimated revised flow
and total cost reduction
Repeat the process
Engineering and Maintenance
Update total potable
water flow; calculate
estimated revised flow
and total cost reduction
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4. Organizational Capacity and competency – XYZ Case Study
Based on their Action Plan, XYZ developed a simple training plan to raise awareness and provide the
skills needed to implement the Action Plan. XYZ was able to participate in a local government program
that provided subsidized training in these areas.
XYZ FOOD COMPANY Training Plan
Department
Module 1
Module 2
Module 3
Module 4
Human Resources/EHS/ESMS
performance team
Introduction to
ESMS; Labor
standards
performance issues
Complaint
management and
resolution procedure
Freedom of
association and
collective bargaining;
Worker-manager
communications
ESMS in the supply
chain
All workers and managers
Hygiene and food
safety; Health and
safety; Emergency
response procedures
Water and energy
conservation
procedures
Waste reduction;
Composting and
recycling procedures
Complaints
procedure; Workermanager
communications
Senior management
Introduction to
ESMS
Labor standards
performance issues
Stakeholder and
community
engagement and
communications
Environmental
performance issues
Production
Water treatment
and recycling
procedures
Water and energy
conservation
procedures
Waste treatment and
reduction procedures
Sourcing
Introduction to
ESMS
Child labor issues in
the supply chain
Supplier quality
standards and
environmental
management
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Layout and process
design
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4. Organizational Capacity and competency – XYZ Case Study
XYZ developed a Roadmap to estimate the staff time required and the timeframe to develop and implement their ESMS. They estimated a total of 167.25 days
of time from senior management, middle management, supervisors and workers.
Roadmap and Estimated Timeframe for Developing and Implementing XYZ FOOD COMPANY’S ESMS
ACTIVITY
Implementing
Developing
1. Policy
Kick-off meeting at sr. management level
to discuss ESMS implementation
Selection (including
communication/coordination) of ESMS
core team (personnel from different key
departments)
Appreciation and awareness workshop for
senior management and core team on
ESMS requirements
Review/upgrading of existing environment
and social policy/formulation of
organization’s env. & social policy
Design, printing and display of ESMS policy
at key areas
Uploading of ESMS policy on company
website
Communication of ESMS policy to key
external stakeholders
Training & awareness of employees on
ESMS policy and information
dissemination
2. Risk and Impact Identification
MONTH
Time spent
Senior
mgt
time
1
Mid
mgt
time
Supervisors
time
.25
.5
.5
1
1.5
2
.5
.5
1
.5
.5
.5
Supervisors
time
Work
ers
time
2
3
4
5
6
Work
ers
time
.5
.25
.5
Senior
mgt
time
Mid
mgt
time
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4. Organizational Capacity and competency – XYZ Case Study
Implementing
Developing
ACTIVITY
Mapping of activities, processes and key
stakeholders, including the suppliers &
contractors
Identification and compilation of
regulatory and other requirements,
including stakeholder expectations
Initial environmental & social review,
identification & evaluation of environment
and labor risks (including supply chain)
Training & awareness of employees on
environmental, social and labor risks and
risk identification process
Training & awareness of employees on
regulatory and other requirements,
including stakeholder expectations
Training & awareness of employees on
environmental, social and labor risks and
information dissemination
Preparation of ESMS manual (formulation
and documentation of procedures related
to ESMS)
Formulation, compilation of
environmental objectives/targets and
social performance improvement
measures
Formulation and development of
environmental and social action plans
Development of operational procedures
Communication, awareness and training
of employees on ESMS procedures
Im
ple
me
nti
ng
Developing
3. Management Programs
MONTH
Time spent
1
.5
.5
1.5
.5
1
1
3
4
2
2
1
2
3
.5
.5
1.5
.5
1
2
Senior
mgt
time
Mid
mgt
time
Supervisors
time
Work
ers
time
5
4
.25
.5
1
1
1.5
2.5
1
3
2
2
.5
.5
1
2
Revision 1.0 October 21, 2013
2
3
4
5
6
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4. Organizational Capacity and competency – XYZ Case Study
ACTIVITY
Communication and awareness of
employees on environmental objectives
and social performance improvement
measures
Communication and awareness of
employees on environmental and social
action plans
Training of employees on environmental
and social operational procedures
Implementing
Developing
4. Organizational Capacity and
Competency
Senior
mgt
time
Environmental and social awareness
program for middle management
Environmental and social awareness
program for workers
Competency program for ESMS core team
Internal auditor training for the
organization’s ESMS assessors/auditors
General awareness and training on
environmental, social and labor
issues/ESMS for senior and middle
management
Environmental and social awareness
program for workers
Competency program for ESMS core team
Internal auditor training for the
organization’s ESMS assessors/auditors
5. Emergency Preparedness and
Response
MONTH
Time spent
1
.25
.25
1
.25
.25
1
2
4
7
Mid
mgt
time
Supervisors
time
Work
ers
time
2
3
4
5
6
1.5
5
1.5
1
2
.5
1
2
1
1.5
1.5
2
1
2
Senior
mgt
time
Mid
mgt
time
Supervisors
time
5
Work
ers
time
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4. Organizational Capacity and competency – XYZ Case Study
Implementing
Developing
ACTIVITY
Review of key risks and existing
emergency preparedness plan
Upgrade/prepare the emergency
preparedness plan
Communicate to workers, potentially
affected communities and relevant
government agencies (if required)
Awareness and communication to
employees and affected communities on
key risks and emergency issues and
emergency planning
Training of employees on emergency
preparedness plan
Communication and awareness on
emergency procedures to affected
communities and relevant authorities (if
required)
Implementing
Developing
6. Stakeholder Engagement
Mapping of all stakeholders, stakeholder
analysis and engagement planning
Develop/upgrade stakeholder
communication/consultation; information
disclosure and engagement
strategy/program
Communication to employees on key
stakeholders and their environmental and
social/labor expectations
Communication, awareness and training
of employees on the strategy/program for
stakeholder
engagement/consultation/communication
and information disclosure
MONTH
Time spent
1
.25
.5
.25
2
.25
.25
.25
.5
.25
1.5
.25
1
1
2
.25
.25
Senior
mgt
time
Mid
mgt
time
Supervisors
time
Work
ers
time
.25
.25
.25
1
3
4
5
6
.5
.25
.5
2
2
.5
1.5
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4. Organizational Capacity and competency – XYZ Case Study
ACTIVITY
Implementing
Developing
7. External Communication &
Grievance Mechanism
Review external communication system,
including receiving and handling feedback,
concerns and complaints
Develop/upgrade system for regular
engagement, receiving, documenting and
responding to feedback and grievances
Review external communication,
feedback, stakeholder concerns and
complaints and communicate to key
personnel
Training, awareness and implementation
of stakeholder engagement, receiving,
documenting and responding to feedback
and grievances
Implementing
Developing
8. Ongoing Reporting to
Affected Communities
Review existing system for reporting and
disclosure
Develop/upgrade system for external
reporting and disclosure (including
collection, validation and verification of
information)
Communication and disclosure to key
external stakeholders and affected
communities
Communication, awareness and training
on external reporting and disclosure
(including collection, validation and
verification of information)
9. Monitoring and Review
MONTH
Time spent
Senior
mgt
time
Mid
mgt
time
1
Supervisors
time
Work
ers
time
2
3
4
5
6
.25
.25
1
.25
.25
.5
2
.5
.5
2
Mid
mgt
time
Supervisors
time
Work
ers
time
Senior
mgt
time
.25
.25
1
.25
.25
Senior
mgt
.5
1
1
2
Mid
mgt
Supervisors
Work
ers
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4. Organizational Capacity and competency – XYZ Case Study
Implementing
Developing
ACTIVITY
Establish procedure to monitor and
measure ESMS performance, compliance
and stakeholder requirements
Implementation of ESMS monitoring
program, establishing benchmarks and
integration with existing system
Final review and complete ESMS
documentation
Conduct internal audit/evaluation of ESMS
performance against the management
program requirements/benchmarks
Establish relevant operational controls
and formulation of corrective &
preventive actions
Review by the senior management to
assess performance and effectiveness of
ESMS
Documentation and communication on
ESMS conformance, regulatory
compliance and stakeholder requirements
Communication, awareness, training and
implementation of ESMS monitoring
program and established benchmarks
Communication of internal
audit/performance measurement findings
and ESMS performance to the employees
Communication, awareness and training
of employees on operational controls and
corrective & preventive actions
Communication on outcomes of review of
the ESMS performance by senior
management and key decisions taken
MONTH
Time spent
time
time
time
.25
1
.25
.5
1
1
.5
1
1
3
4
5
6
time
1
1
.5
.25
1
.5
.5
.25
.25
.25
1
1
1
1
3
.5
.25
1
.5
1
3
.25
2
.25
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4. Organizational Capacity and competency – XYZ Case Study
ACTIVITY
TOTAL
MONTH
Time spent
22.75
53.5
42
1
2
3
4
5
6
49
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5. Emergency Preparedness and Response – XYZ Case Study
Based on their risk assessment, which identified ammonia leakage as a severe-impact risk, XYZ
developed a Preparedness and Response Plan to identify, prevent and respond to leakage emergencies.
The plan includes an Ammonia Leakage Response Procedure. The procedure was documented as a
flowchart so that it could be posted at various workstations and understood easily.
XYZ FOOD COMPANY Ammonia Leakage Preparedness and Response Procedure
See sample Ammonia Leakage Preparedness and Response Procedure in Toolkit.
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6. Stakeholder Engagement – XYZ Case Study
XYZ FOOD COMPANY Stakeholder Mapping – identification and analysis
XYZ listed the stakeholders that are affected by or have an interest in their operations.
Next to each stakeholder group, they listed their key concerns, issues and interests. To identify those,
they looked back at the environmental and social key risks and impacts previously identified and how
these affect the surrounding communities.
Stakeholder
Issues/concerns/interests
a. Surrounding farmers and local village
population (affected community)
Water sources contaminated by XYZ effluents
Putrid smells from solid waste
Generator noise
Disease vectors from sludge ponds
Food safety
Unreliable quality
High energy and water use strains municipal supplies
Unreliable electricity supply
Unreliable water supply
Contraventions to national and international labor laws
Disease threats to humans and animals from XYZ sludge
ponds
Child labor in XYZ supply chain
XYZ not in position to meet standard
Fluctuating reputation of food processors due to scandals
and consequent lack of investment in the sector
b. Customers (hotels, restaurants, tourism
companies, supermarkets)
c. Residents of Mwanza city
d. Municipal Electricity Authority
e. Municipal Water Authority
f. Tanzania Ministry of Labor
g. Tanzania Ministry of Water and Livestock
h.
i.
j.
k.
NGO Save the Children
Fairtrade
Tanzania Food Processors Association (TAFOPA)
Small Enterprise Development Agency (SEDA)
High
Finally, they mapped the stakeholders on a matrix according to (a) the degree to which they are
impacted and (b) their ability to influence the company operations, and then (c) categorized them based
on their current relationship with the company: supportive, supportive with conditions, neutral,
opposed. Based on this, they identified which groups were a priority to engage.
Quadrant 1= Involve as
needed
Quadrant 2= Proactively
approach and support
them
Supportive
Supportive with conditions
Capacity to influence
Neutral
Opposed
Quadrant 4= Respond to
their concerns
Low
Quadrant 3= Keep them
informed
Low
High
Degree impacted by the company
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6. Stakeholder Engagement – XYZ Case Study
XYZ FOOD COMPANY Stakeholder Engagement Plan
Based on the information above XYZ prepared a Stakeholder Engagement plan. XYZ prioritized
engagement with those groups that are mostly affected.
Stakeholder Engagement Plan for affected stakeholders
Stakeholder
Concerns
a. Surrounding
farmers and local
village population
(Quadrant 2)
Local streams and water
sources contaminated from
XYZ effluents
Putrid smells from solid
waste
Generator noise
Disease threat to humans
and animals (disease
vectors of dengue and
malaria) from XYZ sludge
ponds
Unreliable quality reflected
in product recalls (tomato
sauce)
Reputational risks and
financial losses for XYZ
customers due to clients
getting sick
High energy and water use
strains municipal supplies
b. Customers –
Tanzania (hotels,
restaurants,
tourism
companies,
supermarkets)
(Quadrant 2)
c. Residents of
Mwanza city
(Quadrant 4)
Engagement
method
- Grievance
mechanism
- Quarterly town
hall meetings
announced
through local
newspapers
Information to disclose
and report back
- Progress on actions to
reuse solid organic
waste
- Progress on
wastewater treatment
actions
Most valuable
info to obtain
Factual, as well
as reported
information on
impact of XYZ
activities
- Grievance
mechanism
(hotline number
and email
printed on food
containers)
- Food safety is XYZ
priority
Trace
adulterated
product
- Grievance
mechanism
- Progress of
consultations with
municipal electric and
water authorities
- XYZ water and energy
efficiency programs
Stakeholder Engagement Plan for interested stakeholders
Stakeholder
Concerns
d. Municipal
electric
authority
(Quadrant 1)
Unreliable electricity supply
leading to increased
production costs and
possible health
consequences from food
processed and stored in
suboptimal conditions
e. Municipal
water authority
(Quadrant 1)
Unreliable water supply for
industrial and domestic
consumption
f. Tanzania
Environmental degradation
Revision 1.0 October 21, 2013
Engagement
method
Frequent
communication
through emails,
letters, phone
calls and
meetings when
possible
Information to disclose
and report back
- State of current
supply and how it
affects regional
economic prospects
- XYZ programs to
improve energy
conservation
Regular
- State of current
supply and how it
affects regional
economic prospects
- XYZ programs to
improve water
conservation
XYZ will work within its
Most valuable info
to obtain
State of current
electricity and
water
infrastructure and
supply
Actions taken to
rectify current
unsustainable
situation
Extent to which XYZ
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6. Stakeholder Engagement – XYZ Case Study
Ministry of
Water and
Livestock
(Quadrant 1)
communication
through email
and meetings
powers to improve its
impact on water supply
and livelihood of
livestock
activities impact
environment
Contact with
labor inspectors
during periodic
and
unannounced
visits to XYZ
XYZ prepared to work
to improve labor
standards internally
and in its supply chain
Good knowledge of
labor standards –
international and
national
h. Save the
Children
(Quadrant 1)
and pollution: water
consumed by people and
cattle is contaminated
Disease threat to humans
(dengue and malaria) and
animals from XYZ sludge
ponds
XYZ could be in
contravention of
international labor laws
(ILO Conventions), and
national labor law
Tainted reputation for
Tanzania among
international community
Child labor in XYZ supply
chain (on local supplier
farms)
Regular email
communication
and meetings
with local
representatives
Actions taken to tackle
child labor issue
Preponderance of
child labor in XYZ
supply chain
i. Fairtrade
Labeling
Organization
(Quadrant 1)
XYZ is not in a position to
meet standards of
international certification
programs
Progress made and
corrective actions
taken on areas of
concern identified by
FLO
Standards required
to be met to
achieve FLO
certification
j. The Tanzania
Food
Processors
Association
(TAFOPA)
k. Small
Enterprise
Development
Agency (SEDA)
(Quadrant 3)
Fluctuating reputation of
food processor members
like XYZ, due to social or
environmental scandals
Consequent lack of
investment in such
businesses if seen as “high
risk”
Emails by CEO
and XYZ
compliance staff,
sharing of audit
reports as well
as public reports
if available
Regular
communication
through email
and trade
meetings
Members to support
each other in improving
reputation of
Tanzanian food
processors
Data collected by
TAFOPA on current
status and
perception of XYZ
and other similar
food processing
plants
g. Tanzania
Ministry of
Labor
(Quadrant 3)
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7. External Communication and Grievance Mechanism – XYZ
XYZ has implemented a grievance mechanism. The procedure is explained during the quarterly town hall
meetings and is also announced on a poster outside the company’s gate.
XYZ FOOD COMPANY Grievance Mechanism Poster
We’re proud to be part of your community. If you have any questions,
concerns or complaints, here’s how to reach us, and how we’ll respond.

You can send an email to XYZ’s administrative officer at
[email protected].
Time for acknowledgment of receipt: 48 hours

You can call XYZ’s administrative officer, Monday to Friday,
from 3pm to 5 pm, at 123-45-6789.
Time for acknowledgment of receipt: immediate or 48 hours
if left a message.

You can fill out a form and submit it to the suggestion box at
the company’s gate. The suggestion box is more
confidential. It will only be opened by XYZ’s administrative
officer.
Time for acknowledgment of receipt: 1 week.
At the time of the acknowledgment of receipt, XYZ will provide an estimated
date for response and request further information if needed.
If the issue is not resolved by the estimated date, XYZ’s administrative officer will
provide an update of the situation to the interested party.
Every three months at the XYZ town hall meeting, XYZ’s general manager will
present the list of questions and complaints received, their status and the
actions taken by the company to address the issues.
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7. External Communication and Grievance Mechanism – XYZ
XYZ Grievance Mechanism Procedure
Receive
Register
•Receive complaints from groups and individuals affected by our operations
•Responsible party: Administrative officer
•Register complaint from the public
•Responsible party: Administrative officer; Document location: Admistrative office
•Screen the issues raised
Screen and •Responsible party: Administrative officer
Assess
Address
Document
Track
Update
Report
•Address the issues raised
•Responsible party: Administrative officer coordinates with relevant departments
•Document the issue and the response
•Responsible party: Administrative officer; Document location: Administative office
•Track issues raised and actions taken
•Responsible party: Adminstrative officer and senior management team; Quarterly
management review
•Update management programs
•Responsible party: Senior management team and department heads
•Report to those who raised the issue and to the public
•Responsible party: General manager; Quarterly town hall meetings
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7. External Communication and Grievance Mechanism – XYZ
Key Aspects of XYZ FOOD COMPANY’S Grievance Mechanism
Key aspects of effective grievance mechanisms
XYZ’s method
Provide ease of access to confidentially
communicate or file complaints, including
anonymous ones
XYZ has an email address and telephone hotline
specifically for complaints. Email is checked daily
by the administrative office.
Publicize the system so that stakeholders know it
exists and how to access it
XYZ has a written procedure that the general
manager explains during quarterly town hall
meetings. The procedure is posted on a banner
outside the company’s gate. The poster is in
English and the local language.
Foster sense of legitimacy and trust; encourage
dialogue and shared responsibility for outcomes
XYZ works with the local government ministries to
ensure that legal mechanisms are followed and
consults with various groups to refine its system as
needed.
Be transparent about the process and outcomes
The administrative office receives and records
complaints and reports back to the complainant
about whether the complaint is accepted or not
and what is the process and timeline for
investigation and resolution.
Implement a predictable and defined process that
includes assignment of responsibility, time limits
and monitoring of outcomes
The administrative office receives and records the
complaint and then works with relevant staff and
external stakeholders to investigate, determine
actions and report back outcomes.
Make the system a source of continual learning
XYZ’s general manager and department heads
meet quarterly to review complaints and check for
ways to improve the mechanism and the overall
company systems.
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XYZ
8. Reporting back to affected communities – XYZ Case Study
See Chapter 6. Stakeholder Engagement – XYZ Case Study, and Chapter 7. External Communication and
Grievance Mechanism – XYZ Case Study.
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XYZ
9. Monitoring and Review – XYZ Case Study
Monitoring Plan for XYZ
XYZ’s ESMS Team developed a Monitoring Plan based on the action plans and their targeted objectives.
Solid waste and odor
Performance indicators
Monitoring indicators
Solid waste generation per day and per ton of product processed
% and volume of rejected product from suppliers
% and volume of product loss during screening, sorting and grading
% and volume of product loss due to contamination, spoilage,
shelf-life
% and volume of product loss during cutting and processing
% and volume of waste composted
% and volume of waste re-processed for animal feed
Monitoring records
- Daily solid waste
generation/disposal log
Equipment
- Calibrated
weighing
machines
- Records of composting
and re-processing
Process indicators
Monitoring indicators
% of employees trained on waste reduction
% of suppliers trained in product quality
Monitoring records
- Records of operational training
- Records of supplier quality
management
- Records of operation and
maintenance of refrigeration and
cooling units
Adequacy of refrigeration, cooling and storage
facilities
Equipment
- Calibrated
temperature
gauges/thermometers
Average storage time for product
Water consumption and effluents
Performance indicators
Monitoring indicators
Water consumption in kl per day
Water consumption in kl per ton of product processed
Wastewater discharge in kl per day
Wastewater discharge in kl per ton of product processed
Monitoring records
- Production records
- Water meter
records
% and volume of wastewater treated
Volume of sludge generation from wastewater
treatment
Quality of treated wastewater
- Water treatment
records
- Facility water
analysis records
Equipment
- Sealed water meters at all
intake points
- Calibrated water meter(s) at
all/final discharge point
- Water sampling and testing
equipment if done in-house
Process indicators
Monitoring indicators
% of wastewater streams analyzed for their
suitability for recycle/reuse
% of processes analyzed for use of recycled water
% taps and washing hoses/nozzles with highefficiency taps/nozzles
% of employees trained on:
- water saving techniques
- water treatment and recycling
- good housekeeping
Areas where dry cleaning techniques are applied
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Monitoring records
Equipment
- Maintenance records of leaking and replaced
faucets, hoses and nozzles
- Records of operational training
- Daily/shift records of housekeeping
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9. Monitoring and Review – XYZ Case Study
Consultations/engagement with regulators, NGOs
and other interested parties
Complaints or disputes with local communities on
water issues
- Record of surveys/consultation with local
communities on water issues
- Records of grievances
OSH and product contamination
Performance indicators
Monitoring indicators
# of OHS risks identified
% of work hours spent continuously on repetitive tasks
% of processes requiring heavy lifting or tasks with ergonomic stress
# of accidents, injuries and near-misses
# of work hours lost due to accidents and injuries
# of incidences of "critical limits"
# of incidences of exposure to hazardous materials
# of contamination risks identified
# of incidences of product contamination
% and volume of product loss due to contamination
Monitoring records
- Hazard and risk analysis records
- OSH incidents records
- Medical records
- Process analysis records
- Production records
Process indicators
Monitoring indicators
Established procedures and system to identify worker concerns, feedback
and grievances
Number of complaints and grievances raised by workers
% of workers and managers trained on OHS, hygiene and process control
Monitoring records
- Employee survey, feedback,
consultation and grievances
records
- Records of internal grievances
- Records of training provided to
workers, supervisors and managers
Child labor in supply chain
Performance indicators
Monitoring indicators
# of hours and type of labor using minors (above school
age but below 18 years)
# of incidences of child labor
% of incidences remediated
Monitoring records
- Workers employment contracts
- Records of working hours and overtime
Process indicators
Monitoring indicators
% of suppliers screened and monitored for child labor
% of suppliers with procedures for prevention and
remediation of child labor
Number of complaints and grievances about child labor
Consultations with community leaders and local NGOs
near suppliers
% of managers and suppliers trained on child labor policy
and procedures
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Monitoring records
- Supplier recruitment and HR records
- Supplier internal and external audits and corrective
action/remediation records
- Supplier commitment and procedures
- Grievances records
- Community consultation records
- Manager and supplier training records
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